KM
Kim L. Moore
VALIC FINANCIAL ADVISORS
Renton, WA 98057
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CRD#: 1567570
KM
Professional summary
Kim Louise Moore, who also goes by Kim L Moore, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Renton, Washington.
Kim is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Kim has worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kim L Moore
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Kim Louise Moore's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kim Louise Moore's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 13, 2015 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 451 Sw 10th Street Suite 101, Renton, WA 98057RIA
BD
CRD#: 42803
Renton, WA
Current
August 13, 2015 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 451 Sw 10th Street Suite 101, Renton, WA 98057RIA
BD
CRD#: 42803
Renton, WA
Past
October 14, 2013 - July 2, 2015
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SEATTLE, WA
Past
October 14, 2013 - July 2, 2015
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SEATTLE, WA
Past
October 1, 2012 - October 22, 2013
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
DENVER, CO
Past
September 26, 2012 - October 21, 2013
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
DENVER, CO
Past
April 4, 2011 - September 15, 2011
SEATTLE-NORTHWEST SECURITIES CORPORATION
BD
CRD#: 10639
SEATTLE, WA
Past
October 21, 2010 - September 15, 2011
INVESCO MANAGED ACCOUNTS, LLC
RIA
CRD#: 154461
SEATTLE, WA
Past
April 19, 2005 - October 21, 2010
SEATTLE-NORTHWEST SECURITIES CORPORATION
BD
CRD#: 10639
SEATTLE, WA
Past
January 1, 2005 - October 21, 2010
SEATTLE-NORTHWEST SECURITIES CORPORATION
RIA
CRD#: 10639
SEATTLE, WA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VF
VALIC FINANCIAL ADVISORS, INC.
AIG RETIREMENT ADVISORS, INC. | VALIC INVESTMENT SERVICES COMPANY | VALIC FINANCIAL ADVISORS, INC. | COREBRIDGE FINANCIAL | AMERICAN GENERAL FINANCIAL ADVISORS, INC. | AIG RETIREMENT SERVICES
CRD#: 42803 / SEC#: 801-54952, 8-50018
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(12/1/2021)
IAR
California(12/3/2021)
RR
Indiana(3/30/2017)
IAR
Indiana(3/11/2021)
RR
Nevada(10/18/2017)
IAR
Nevada(11/1/2017)
RR
New Mexico(3/10/2021)
IAR
New Mexico(3/11/2021)
RR
North Carolina(7/20/2023)
IAR
North Carolina(8/1/2023)
RR
Oregon(6/2/2020)
IAR
Oregon(6/2/2020)
RR
Pennsylvania(5/14/2025)
IAR
Pennsylvania(5/15/2025)
RR
Washington(8/13/2015)
IAR
Washington(8/13/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VF
VALIC FINANCIAL ADVISORS, INC.
AIG RETIREMENT ADVISORS, INC. | VALIC INVESTMENT SERVICES COMPANY | VALIC FINANCIAL ADVISORS, INC. | COREBRIDGE FINANCIAL | AMERICAN GENERAL FINANCIAL ADVISORS, INC. | AIG RETIREMENT SERVICES
CRD#: 42803 / SEC#: 801-54952, 8-50018
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
2919 Allen Parkway L3-20, Houston, TX 77019
Mailing Address
2919 Allen Parkway L3-20, Houston, TX 77019-2158
Phone number
(866) 544-4968
Established
Texas since 11/18/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,633
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VARIABLE ANNUITY LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BURNETTE, CYNTHIA LEA | CHIEF FINANCIAL OFFICER AND TREASURER | 1863103 |
| FORTEY, MICHAEL | VFA CHIEF COMPLIANCE OFFICER BROKER DEALER | 2304969 |
| GIBSON, KRISTA DE LOIS | PRESIDENT; SVP, HEAD OF PRODUCT & ADVISORY SERVICES | 2348708 |
| JOE, CHRISTOPHER CHUCK | VFA CHIEF COMPLIANCE OFFICER INVESTMENT ADVISOR | 2373056 |
| LOGAN, JOHN ALBERT | CHIEF OPERATIONS OFFICER | 4378887 |
| MARCIEL-CARR, THERESA H | VICE PRESIDENT, FIELD SUPERVISION | 5428259 |
| NORRIS, JOHN ERIK | SECRETARY | 8188573 |
| RINK, VERONICA LYNETTE | VICE PRESIDENT, BUSINESS ADMINISTRATION | 4724432 |
Regulatory assets under management
| Total Number of Accounts | 293,993 |
| AUM (Assets Under Management) | $ 26,372,603,709 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 01/27/2025 | ||
| 04/29/2024 | ||
| 04/28/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
